Eddy Blizzard stole $1.4 million from the late client, causing him to lose his house.
Thomas Chadwick sold mom-and-pop investors highly leveraged notes that became worthless during the pandemic, state regulators said.
She alleges the firm coerced her into quitting her job after her illness.
Some of Surage Perera's victims lost their life savings or had to delay their retirements, prosecutors said.
A federal court is being asked to decide who should arbitrate the company's non-compete complaint against the former rep.
Timothy Heisterkamp and Max Neese operate Journey Financial in Jefferson, Iowa.
Craig Allen of Atlanta used his hedge fund to scam investors of more than $7 million, prosecutors said.
The transaction was negotiated over the last several months.
The firm must pay fines and restitution for violations on trade confirmations and customer credit.
LPL's recruitment of Dallas-based Strategic Wealth comes ahead of Lincoln's purchase by Osaic.
Dusty Sternadel tricked her mostly elderly clients into cutting checks that she deposited into her personal accounts.
The bank warned employees that trips to this year's Olympic city will be closely monitored.
Unlike advisors, many broker and agents will be contending with fiduciary responsibilities for the first time.
The new rule could allow exiting advisors to actively recruit clients. IAA says it goes too far.
The IRS said he failed to account for $2.5 million in money shuffled in overseas accounts.
The controversial rule expands the fiduciary requirements when clients are given advice on retirement account rollovers.
The financial services industry is projected to lose 761,000 experienced employees during the retirement wave.
The bank's shareholders meeting comes as the firm contends with a probe into its anti-money-laundering controls.
The firm's underwriting efforts have typically focused on Asian companies.
"Bad actors" with a history of repeat violations will be a major priority, Finra's enforcement chief said.